Castile Compliance Services, LLC
Financial Services - , ,
Castile Compliance Services, LLC Employees
Castile Compliance Services, LLC Details
Castile Compliance Services LLC is an new innovative outsourced regulatory compliance solutions group covering Investment Advisers, Hedge Funds, Broker Dealers, Private Equity Firms and other structures. Castile Compliance was established to address the unique requirements of the "new era of compliance" emanating from the financial crisis of 2008 and the aftermath of the Stanford and Madoff fraud scandals. Castile prides itself on helping clients improve their Compliance, Risk and Governance processes through their policies and procedures (e.g., Compliance Manuals, Code of Ethics and WSPs), Anti-Money Laundering Programs, and working with regulators to ensure compliance with SEC, FINRA, Federal Reserve, OCC, State and other regulatory obligations (e.g., FINRA new membership applications and 1017 filings; Conducting Mock Audits; 3010/3012/3130 Reviews, certifications; Gap Analysis, Risk Assessment; Forensic Testing/Surveillance/Monitoring & Continuing Education and Training).
